Search for: "MORGAN STANLEY SMITH BARNEY"
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30 Nov 2017, 11:16 am
With Morgan Stanley and UBS out of the Broker Protocol, questions are swirling around the future of the accord and its impact on recruiting. [read post]
13 Nov 2017, 1:14 pm
Are you concerned about your investment losses with Morgan Stanley Smith Barney LLC? [read post]
1 Nov 2017, 11:28 am
(a/k/a Smith Barney) was one of the founding members of the Protocol in 2004. [read post]
20 Sep 2017, 10:05 am
Butler was a Managing Director at Morgan Stanley Smith Barney and Citigroup, held senior financial advisory and structuring roles at UBS and Babcock & Brown, and worked at two major law firms. [read post]
15 Sep 2017, 11:51 am
Morgan Stanley Smith Barney LLC, which resulted in $13 million in monetary relief for alleged overcharges to clients of more than $16 million and alleged violations of the custody rule and compliance rule. [read post]
21 Aug 2017, 5:00 am
File no. 3-17808 (Jan. 24, 2017), and In the Matter of Morgan Stanley Smith Barney LLC, SEC, Admin. [read post]
27 Jul 2017, 7:13 am
He worked at several firms over the years, including Prudential Securities, Lehman Brothers, Smith Barney, Dean Witter and UBS, according to his BrokerCheck report. [read post]
22 Jun 2017, 3:54 pm
A second customer complaint was submitted in September 2016 regarding Parthemer’s actions while employed at Morgan Stanley Smith Barney. [read post]
21 Mar 2017, 5:00 am
Morgan Stanley Smith Barney, LLC, cert denied March 20, 2017). [read post]
16 Mar 2017, 11:07 am
The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it recommended to advisory clients. [read post]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
15 Feb 2017, 8:53 am
Yesterday the SEC announced that Morgan Stanley Smith Barney will pay $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. [read post]
31 Jan 2017, 12:06 pm
His most recent registration was with Morgan Stanley in New York. [read post]
24 Jan 2017, 11:54 am
At the time, Citigroup held a 49 percent ownership interest in Morgan Stanley Smith Barney and representatives at both firms were pitching the foreign exchange trading program. [read post]
20 Jan 2017, 5:00 am
Court of Appeals for the Sixth Circuit ruled unanimously against John Verble, a former Morgan Stanley Smith Barney financial adviser who claims he was fired in 2013 for cooperating with the FBI in an investigation. [read post]
9 Dec 2016, 7:25 am
From February 2011 until January 2012 Kievman was associated with Morgan Stanley Smith Barney. [read post]
8 Dec 2016, 6:44 am
This one involves ten promissory notes worth a few million dollars issued to two former Morgan Stanley Smith Barney employees. [read post]
7 Oct 2016, 12:49 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The state of Massachusetts has charged Morgan Stanley Smith Barney for conducting a sales contest among its financial advisers to encourage clients to borrow money against their brokerage accounts. [read post]
5 Oct 2016, 11:14 am
If you suffered losses investing with Morgan Stanley Smith Barney, the attorneys at The White Law Group may be able to help. [read post]
4 Oct 2016, 7:19 am
The Division seeks to permanently bar Morgan Stanley from engaging in these banking and securities cross-selling practices, to censure the firm and impose an administrative fine, and to obtain equitable relief for the firm’s clients (In the Matter of Morgan Stanley Smith Barney LLC, October 3, 2016).According to the complaint, Morgan Stanley created the sales contest to persuade its retail wealth management clients to take… [read post]
